Carole F. Schreck
JANNEY MONTGOMERY SCOTT LLC
Towson, MD 21204
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CRD#: 1266653
Professional summary
Carole French Schreck, CFP®, who also goes by Carole Lynne French, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Towson, Maryland.
Carole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Carole has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carole Lynne French
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Janney Montgomery Scott; Notary services for Baltimore branch; 1800 Quarry Lake Dr. Ste 160, Baltimore, MD 21209; Start date: 05/01/2016; Provide notary services to branch as requested for clients; I do not perform any notary business outside of the branch office; Investment-related
CRS (Client Relationship Summary) - RIA
Click below to view Carole French Schreck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carole French Schreck's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2020
Experience
Current
December 17, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 409 Washington Avenue Suite 815, Towson, MD 21204RIA
BD
CRD#: 463
Towson, MD
Current
November 10, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 409 Washington Avenue Suite 815, Towson, MD 21204RIA
BD
CRD#: 463
Towson, MD
Past
February 21, 1985 - August 22, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
July 10, 1984 - December 13, 1984
PFS INVESTMENTS INC.
BD
CRD#: 10111
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(12/1/2021)
RR
Arizona(12/1/2021)
RR
California(12/12/2019)
RR
Colorado(12/1/2021)
RR
Connecticut(1/27/2022)
RR
Delaware(12/1/2021)
RR
District of Columbia(12/1/2021)
RR
Florida(12/1/2021)
RR
Idaho(5/17/2024)
RR
Illinois(12/1/2021)
RR
Kansas(5/17/2024)
RR
Kentucky(5/17/2024)
RR
Louisiana(5/17/2024)
RR
Maryland(11/11/2015)
IAR
Maryland(12/17/2015)
RR
Massachusetts(5/17/2024)
RR
Missouri(12/1/2021)
RR
Montana(5/17/2024)
RR
Nebraska(8/22/2016)
RR
New Hampshire(12/1/2021)
RR
New Jersey(12/12/2019)
RR
New York(12/12/2019)
RR
North Carolina(12/12/2019)
RR
Ohio(12/2/2021)
RR
Oklahoma(5/17/2024)
RR
Oregon(12/1/2021)
RR
Pennsylvania(12/12/2019)
IAR
Pennsylvania(12/1/2021)
RR
Puerto Rico(5/17/2024)
RR
Rhode Island(10/25/2019)
RR
South Carolina(1/20/2017)
RR
Texas(12/1/2021)
IAR
Texas(12/1/2021)
RR
Utah(5/17/2024)
RR
Vermont(5/17/2024)
RR
Virginia(12/12/2019)
RR
Washington(12/1/2021)
RR
West Virginia(12/12/2019)
RR
Wisconsin(12/1/2021)
RR
Wyoming(5/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
